Jason Lynn DiPaola

05/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON LYNN DIPAOLA (CRD No. 2848836), Respondent. DISCIPLINARY PROCEEDING NO. 2018057274302 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From March 2015 to March 2017 (the “relevant period”), Jason Lynn DiPaola, while associated with FINRA member firm Chardan Capital Markets, LLC (“Chardan” or the “Firm”), exercised discretion and controlled the trading in his mother’s brokerage

03/25/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON LYNN DIPAOLA (CRD No. 2648836), Respondent. Disciplinary Proceeding No. 2018057274302 Hearing Officer–MC HEARING PANEL DECISION March 25, 2022 Respondent Jason Lynn DiPaola is fined $5,000 for (i) failing to disclose an outside account in which he exercised discretionary authority and (ii) failing to answer accurately two annual questionnaire certifications. He is also suspended from associating with

03/23/2023: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jason Lynn DiPaola Babylon, NY, Respondent. DECISION Complaint No. 2018057274302 Dated: March 23, 2023 Registered representative failed to disclose an outside account in which he exercised discretionary trading authority, submitted false and misleading compliance forms to his employer, and failed to provide on-the-record testimony. Held, findings affirmed and sanctions modified.

05/28/2026: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 105568 / May 28, 2026 Admin. Proc. File No. 3-21402 In the Matter of the Application of JASON LYNN DIPAOLA For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Formerly associated person appeals from FINRA disciplinary action finding that he failed to disclose an outside account in which he exercised discretion, submitted false or misleading compliance questionnaires to his employer, and failed to provide on-the-record testimony. FINRA imposed two two-year suspensions, to run consecutively, and $40,000 in fines. Held, FINRA’s findings of violations are sustained; and the sanctions imposed are sustained in part and set aside in part.

Reference 2018057274302data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org